Thomas F. Feda

CAPITOLIS GLOBAL BROKER DEALER LLC

NEW YORK, NY 10036

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CRD#: 1806572

Professional summary

Thomas Frank Feda is a registered financial professional currently at CAPITOLIS GLOBAL BROKER DEALER LLC located in New York, New York.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1988. Thomas has worked at 9 firms and has passed the Series 63, Series 7TO, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

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Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 10, 2025 - Present

CAPITOLIS GLOBAL BROKER DEALER LLC

Office #1: 11 W. 42nd Street 15th Floor, New York, NY, 10036Office #2: 11 W. 42nd Street, 15th Floor, New York, NY 10036

CRD#: 325346

NEW YORK, NY

Past

November 21, 2012 - May 7, 2014

SG AMERICAS SECURITIES, LLC

CRD#: 128351

NEW YORK, NY

Past

February 3, 2010 - September 14, 2012

TD SECURITIES (USA) LLC

CRD#: 18476

NEW YORK, NY

Past

July 7, 2008 - January 14, 2010

NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297

NEW YORK, NY

Past

April 7, 2003 - June 12, 2008

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

May 1, 1997 - April 17, 2003

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

July 2, 1996 - April 17, 1997

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

March 18, 1993 - June 12, 1995

DB ALEX. BROWN LLC

CRD#: 17790

Past

July 31, 1991 - June 12, 1995

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

May 15, 1990 - May 17, 1991

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

April 19, 1988 - September 1, 1988

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(4/3/2025)

Exams

State Security Law Exam

Series 63

Date: 4/2/2025

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/16/2023

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 12/28/2012

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 4/16/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/14/2009

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CAPITOLIS GLOBAL BROKER DEALER LLC

CRD#: 325346 / SEC#: , 8-71056

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

11 W. 42nd Street 15th Floor, New York, NY, 10036

Mailing Address

11 W. 42nd Street 15th Floor, New York, NY, 10036

Phone number

(212) 388-5201

Established

Delaware since 02/01/2023

Firm type

Limited Liability Company

Fiscal year end

January

Firm Size

Small

# of Employees

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ESL FUNDING LLC	GENERAL MEMBER
BAPTISTE, LINDSEY KATHLEEN	CHIEF FINANCIAL OFFICER, FINOP AND MANAGER	5714590
BORER, JON A	CHIEF COMPLIANCE OFFICER	6374938
DROUMENQ, THOMAS	CHIEF EXECUTIVE OFFICER	4871722
WEXLER, STUART JOEL	GENERAL COUNSEL
WILSON, CHARLENE FAITH	FINOP	1935747

Red Flags

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Advisor Monitoring

Firm Stability Insights

Thomas F. Feda

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Frank Feda's CRS (Customer Relationship Summary).

Certified licenses

Experience

SG AMERICAS SECURITIES, LLC

TD SECURITIES (USA) LLC

NOMURA SECURITIES INTERNATIONAL, INC.

J.P. MORGAN SECURITIES LLC

UBS SECURITIES LLC

DB ALEX. BROWN LLC

DB ALEX. BROWN LLC

DB ALEX. BROWN LLC

CREDIT SUISSE SECURITIES (USA) LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 4/2/2025

Series 7TO

Date: 8/16/2023

Series 3

Date: 12/28/2012

Series 7

Date: 4/16/1988

Series 24

Date: 4/14/2009

FINRA

Current Firm

CAPITOLIS GLOBAL BROKER DEALER LLC

Contact information

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

CAPITOLIS GLOBAL BROKER DEALER LLC

TRUST BUT VERIFY

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